Some funding programmes and incentives have been established by the Shaanxi provincial administration, mainly the department of science and technology and the department of industry and information technology. Other programmes are also offered by municipal administrations and national high-tech zones. Under this project, a total of 15 funding programmes at the provincial level and in Xi’an have been analysed.
Enterprises - funding programmes in Shaanxi province
High- and New-Technology Enterprise (HNTE) status
The High- and New-Technology Enterprise (HNTE) status is one of China’s core innovation tax policies under China’s Corporate Income Tax Law. The concept of HNTE status emerged in the 1990s to encourage investment in high-tech and R&D areas through a series of benefits including fiscal and tax incentives. The HNTE status offers qualified companies a significant reduction of the Corporate Income Tax (CIT) rate.
Eligibility requirements:
According to the latest revision of the Management Measures for the Recognition of High- and New-Technology Enterprises issued in January 2016 by MOST, MOF and SAT, enterprises must meet the following requirements in order to qualify to HNTE status:
- Being registered in Mainland China for at least one year before the application is submitted
- Own IP rights of the key technologies which show core support to the enterprise’s main products (services). Such rights may be obtained through independent R&D, transfer, donation, or mergers and acquisitions;
- The technologies which show core support to the enterprise’s main products (services) shall belong to one of the areas outlined in the Catalogue of High- and New-Technology Areas Specifically Supported by the State
- At least 10% of the total number of the enterprise’s employees should be engaged in R&D and related activities
- R&D expenditures in the last three financial years should account to a certain percentage of the enterprise’s total sales revenue in the same period:
- Over 5% if total revenue is below 50 million RMB;
- Over 4% if total revenue is between 50 and 200 million RMB;
- Over 3% if total revenue exceeds 200 million RMB.
In addition, at least 60% of the enterprise’s total R&D expenditure must be incurred in China
- Income derived from high- and new-technology products (services) should amount to at least 60% of the enterprise’s total revenue
- The assessment of the enterprise’ innovation capabilities is in line with relevant standards
- The enterprise should have not occurred any major safety or quality incident in the previous year, and should have not had any behaviour against the law
What are the benefits?
- Reduction of the Corporate Income Tax (CIT), from the standard 25% tax rate to 15%, regardless of the company’s investment type and where its headquarters are located;
- Other benefits may also be granted by municipal-level administrations (e.g. the Xi’an municipal government offers compensations to enterprises recognised as HNTEs for the first time, see here).
Once approved, the HNTE status will last for three years, after which the application needs to be re-submitted.
When and where are application calls published?
Applications are opened after an official announcement is published on the web portal of the Shaanxi Provincial Department of Science and Technology, usually between March-June every year. Applications can be submitted in different batches (each with its own call and deadline).
International participation: figures and opportunities
Domestic and foreign-invested enterprises (FIEs) are equally eligible to apply as long as they comply with the requirements listed above. However, it is commonly believed that the eligibility requirements might be more challenging to meet for FIEs. *
Hundreds of enterprises are selected as HNTEs every year. Around 1% in of newly-selected HNTEs in 2018 were foreign-invested enterprises. A few examples include:
- Bosch Rexroth (Xi’an) Electric Drives and Controls Co., Ltd. (German WFOE)
- Vollrath (Xi’an) Electronic Co., Ltd. (American WFOE)
- Wafer (Xi’an) Software Co., Ltd. (Hong Kong WFOE)
- Langfu Locking Measure Technology (Xi’an) Co., Ltd (Sino-French JV)
- Xi’an Driescher Energy Solutions Co., Ltd, (Sino-German JV)
- Parker FACRI Actuation Systems (Xi’an) Co., Ltd. (Sino-American JV)
- North Schlumberger Oilfield Technologies (Xi’an) Co., Ltd (Sino-American JV)
- Cathay Aviation Industries (Xi’an) Co., Ltd
* Note: for instance, The European Union Chamber of Commerce in China in its Position Papers argues that the requirement on core IP may create an uneven playing field between domestic and international companies. This would be because the main technologies of the Chinese affiliates of foreign companies in part may still rely on the main technologies and products initially developed outside China and is still owned there, despite these companies now playing an increasingly important role in the Chinese innovation ecosystem.
Xi’an Municipal level HNTE status:
The Xi’an Municipal Science & Technology Bureau has also established its localised version of the HNTE status. Requirements are easier to meet (e.g. in terms of R&D expenditure as percentage of GDP; revenue of high-tech products; etc.), but benefits are smaller.
Useful links:
2019 application announcement (1st batch)
2018 list of selected HNTEs (1st batch)
2018 list of selected HNTEs (2nd batch)
Management Measures for the Recognition of HNTE status in Xi’an
Technology Advanced Service Enterprise (TASE) status
The Technology Advanced Service Enterprise (TASE) status (技术先进型服务企业认定) is of China’s core innovation tax policies, specifically targeting enterprises offering technology outsourcing services. The benefits derived from the TASE status are similar to those of the High- and New-Technology Enterprise, but at the same time the requirements for the obtainment of such status are perceived to be easier to meet for foreign-invest enterprises as these do not involve the possession of local IP rights.
Eligibility requirements:
According to the Notice on Expanding Nation-wide Corporate Income Tax Policies for Technology Advanced Service Enterprises, TASE status is granted to enterprises which meet the following requirements:
- Independent legal personality in the jurisdiction through which the application is submitted (in this case in Guangdong province)
- Be operating in one or more technology services included in a Catalogue appended to the Notice. Income in these services should exceed 50% of the total enterprise’s income
- Over 50% of the staff should possess at least an associate college degree;
- Revenue from the qualifying offshore outsourcing services should account for no less than 35% of total revenue of the year.
* The term “Revenue derived from offshore outsourcing services” refers to revenue derived by a TASE or its direct subcontractor under an outsourcing services agreement entered into by the TASE and an overseas entity, for the provision of ITO, BPO and KPO services as prescribed in list of qualifying technology advanced services.
What are the benefits?
- Reduction of the Corporate Income Tax (CIT) to 15%, compared to the 25% statutory rate
- Expenditure for the training and education of personnel, are deductible from their taxable income for a maximum of 8% of the personnel’s salary amount, compared to the 2.5% statutory rate; the part exceeding 8% can be deducted in the next fiscal year.
Once approved, TASEs will need to take part to annual evaluations.
When and where are application calls published?
Applications can be submitted after an official announcement is published on the web portal of the Shaanxi Provincial Department of Science and Technology, usually every year between March and June.
International participation: figures and opportunities
The TASE status is perceived to be easier to obtain for foreign-invested enterprises, as it does not require the enterprise to own local IP rights of the key technologies representing the enterprise’s core products or services (unlike HNTE status). The percentage of international enterprises among TASEs in other areas such as Shanghai, Beijing and Tianjin is very high, around 30%-40% of the total.
Similar figures were identified also in Shaanxi province, with 4 out of 6 TASEs recognised in 2018 being wholly-foreign owned enterprises:
- Fujitsu (Xi’an) System Engineering Co., Ltd. (Japanese WFOE)
- ABeam Information Technological Development (Xi’an) Co., Ltd. (Japanese WFOE)
- Emerson eResource (Xi’an) Co., Ltd. (American WFOE)
- Novatek Microelectronics (Xi’an) Co., Ltd (Taiwanese WFOE)
Useful links:
Management Measures for the Recognition of TASE status in Shaanxi province (Trial) (in Chinese)
2019 call for application (1st batch)
2018 list of newly approved TASEs in Shaanxi (2nd batch)
Shaanxi Provincial Enterprise Technology Centre
Similarly to the National Enterprise Technology Centres under the Bases and Talents Programme, the Shaanxi Provincial Enterprise Technology Centre is a status given to certain enterprises based in Shaanxi province with strong conditions and capacities for innovation, and which contribute significantly to the local innovation and economic development. Such status guarantees a series of preferential policies and benefits, and is designed to further stimulate enterprises to increase and enhance their R&D and indigenous innovation capacities.
The Shaanxi Provincial Department of Industry and Information Technology oversees the daily management and operations of the programme.
Eligibility requirements:
- Enterprise with independent legal personality in Shaanxi province, with strong competitiveness within its field, as well as solid capacities for innovation;
- Strong R&D commitment, with annual R&D expenditure exceeding 3 million RMB;
- Strong R&D leaders and teams (at least 40 ad hoc personnel);
- Good conditions for R&D, possession of necessary instruments, devices, equipment, as well as patents and achievements on key technologies (total asset value exceeding 3 million RMB);
- No negative records.
What are the benefits?
Newly-recognised Shaanxi Provincial Enterprise Technology Centres will be strongly supported in applying to other provincial-level funding programmes, and will also be encouraged and endorsed by the provincial administration to apply to the National Enterprise Technology Centre status.
When and where are calls published?
Applications can be submitted after an ad hoc announcement is published on the website of the Shaanxi Provincial Department of Industry and Information Technology. The deadline for submitting applications is usually 4 weeks after the publishing date. Applications will first be reviewed by municipal- and county-level authorities.
Note: relevant trainings on the application and evaluation process are frequently organised by the provincial administration (see e.g. this example). Interested applicants are encouraged to actively participate in these.
Useful links:
Management Measures for the Recognition of Shaanxi Provincial Enterprise Technology Centres (in Chinese)
2018 call for application
Xi'an Engineering Technology Research Centre
Like the National Engineering Technology Research Centres under the national-level Bases and Talents Programme, the Xi’an Municipal Engineering Technology Research Centre is a status given to certain entities in Xi’an with strong conditions and capacities for innovation, dedicated to market- and industry-oriented engineering R&D, verification, application and integration of core technologies in key areas.
Target:
Enterprises; universities; research structures.
Eligibility requirements:
Applicants must be enterprises, universities or research structures registered and with independent legal personality in Xi’an municipality. They must have rich experience and strong capacities for innovation and in implementing engineering-scale development. In addition:
- Scale: If the applicant is an enterprise, the annual operational revenue in the previous year must have exceeded 50 million RMB. R&D expenditure must exceed 6% of annual sales revenue;
- Talents and team: at least 20 full-time R&D employees, 30% of which should have Master degree or mid/senior-level job title;
- Assets: Good conditions for innovation, with the total asset value of relevant instruments, equipment, devices and facilities exceeding 5 million RMB, and a R&D facility of at least 300 m2;
- R&D activities: in the last three years has launched at least 2 R&D projects in cooperation with or on behalf of upstream or downstream enterprises. If the applicant is a university or research structure, in the last three years must have launched at least 6 industry-university-research cooperation projects;
- Scientific results: in the last three years has obtained at least 2 patents (or filed 3).
What are the benefits?
- A subsidy of 1 million RMB will be granted immediately upon recognition. Other subsidies (300,000 RMB to 500,000 RMB) will be granted following performance evaluations.
In addition, Xi’an Municipal Engineering Technology Research Centres will receive strong support from local authorities when applying to other municipal- or provincial-level funding programmes.
When and where are calls published?
Applications are published on an annual basis on the website of the Xi’an Municipal Science and Technology Bureau, usually in the second half, as part of the applications for “Xi’an Municipal S&T Projects” (西安市科技计划项目). Applications are generally also published on the websites of universities and research institutes based in Xi’an. Endorsement from local authorities is generally required.
Useful links:
Management Measures for the Recognition of Xi’an Engineering Technology Research Centres
2019 call for application
Xi'an Subsidies for Enterprises R&D Expenditure
In order to increase R&D activities and capabilities, the Xi’an Municipal Science and Technology Bureau offers a series of subsidies to local enterprises for their R&D expenses in high- and new-technology sectors.
Eligibility requirements:
- Enterprise with independent legal personality in Xi’an, conducting R&D activities in high- and new-technology sectors;
- Has a dedicated bank account for R&D expenditure (in line with SAT regulation 2015 No. 97);
- No negative records.
What are the benefits?
- Annual R&D expenditure < 50 million RMB: subsidy of 2% of actual R&D expenditure (max 800,000 RMB)
- Annual R&D expenditure > 50 million RMB, < 200 million RMB: subsidy of 2% of actual R&D expenditure (max 2 million RMB)
- Annual R&D expenditure > 200 million RMB: 3 million RMB.
Method of application:
Requests for subsidies can be submitted after a relevant annual announcement is published on the website of the Xi’an Municipal S&T Bureau. Applications are submitted online on the dedicated platform and then in paper version to the competent office.
Useful links:
Management measures (in Chinese)
2019 application announcement
Xi'an Technology Transfer subsidies
The Xi’an municipal government offers several subsidies to local entities engaging in technology transfer activities. The purpose is to further stimulate technology transfer deals and contracts within the city.
The following subsidies are granted:
- Technology transferors:
- Enterprises, universities, research institutes or other organisations which have signed technology transfer contracts totalling over 5 million RMB (each deal must have been filed and registered with relevant bodies)
- Technology transferees:
- Enterprises which signed and launched technology transfer projects in high-tech fields from universities and research institutes (exceeding 3 million RMB)
- Technology transfer intermediary firms:
- Technology transfer firms registered in Xi’an which have facilitated the signing of technology transfer contracts amongst local actors.
- Sharing of S&T instruments and devices:
- Universities which shared their S&T instruments, equipment and facilities with relevant local actors, through the Xi’an Equipment Sharing Public Service Platform.
How to apply:
Applications are published on an annual basis on the website of the Xi’an Municipal Science and Technology Bureau, usually in the second half, as part of the applications for “Xi’an Municipal S&T Projects” (西安市科技计划项目). Applications are generally also published on the websites of universities and research institutes based in Xi’an.
Useful links:
2019 call for application
Xi'an Patent Subsidies
The Xi’an municipal government offers several subsidies to local entities applying, obtaining, and/or conducting patent-related activities. They aim to further stimulate resident actors to file high-quality patents and to boost their commercialisation, particularly in strategic emerging industries.
The following subsidies are granted:
- Domestic invention patent application:
- Enterprises not benefitting from other support policies: 3,500 RMB / patent
- Universities, research structures, and enterprises already benefiting from other support policies: 600 RMB / patent
- Domestic patent obtained:
- Enterprises not benefitting from other support policies: 1,500 RMB / invention patent; 600 RMB / utility models or designs
- Universities, research structures, and enterprises already benefiting from other support policies: 1,000 RMB / invention patent; 300 RMB / utility models or designs (plus other subsidies if the total number of patents obtained has increased more than 10% on the previous year)
- Enterprises which have obtained for the first time an invention patent: 2,000 RMB
- International patent obtained:
- Patents obtained in the US, EU, Japan or Korea: 35,000 RMB / country / patent
- Patents obtained in key Belt and Road markets: 50% reimbursement of the patent filing fees
- Patent-related awards obtained:
- National-level patents awards obtained: 20,000 RMB to 100,000 RMB
- Recognition of national “Patent Model Enterprise” status: 300,000 RMB
Other subsidies are also available for agents, intermediaries, as well as for expenses incurred for legal patent enforcement cases.
One applicant can obtain a maximum of 1 million RMB per year of subsidies.
How to apply:
Applications for subsidies can be submitted after an annual announcement is published on the website of the Xi’an Municipal Science and Technology Bureau.
Useful links:
Interim Management Measures for Patent Subsidies in Xi’an (in Chinese)
2018 application announcement
2017 application announcement
Micro, small and medium-sized enterprises- funding programmes in Shaanxi province
High- and New-Technology Enterprise (HNTE) status
The High- and New-Technology Enterprise (HNTE) status is one of China’s core innovation tax policies under China’s Corporate Income Tax Law. The concept of HNTE status emerged in the 1990s to encourage investment in high-tech and R&D areas through a series of benefits including fiscal and tax incentives. The HNTE status offers qualified companies a significant reduction of the Corporate Income Tax (CIT) rate.
Eligibility requirements:
According to the latest revision of the Management Measures for the Recognition of High- and New-Technology Enterprises issued in January 2016 by MOST, MOF and SAT, enterprises must meet the following requirements in order to qualify to HNTE status:
- Being registered in Mainland China for at least one year before the application is submitted
- Own IP rights of the key technologies which show core support to the enterprise’s main products (services). Such rights may be obtained through independent R&D, transfer, donation, or mergers and acquisitions;
- The technologies which show core support to the enterprise’s main products (services) shall belong to one of the areas outlined in the Catalogue of High- and New-Technology Areas Specifically Supported by the State
- At least 10% of the total number of the enterprise’s employees should be engaged in R&D and related activities
- R&D expenditures in the last three financial years should account to a certain percentage of the enterprise’s total sales revenue in the same period:
- Over 5% if total revenue is below 50 million RMB;
- Over 4% if total revenue is between 50 and 200 million RMB;
- Over 3% if total revenue exceeds 200 million RMB.
In addition, at least 60% of the enterprise’s total R&D expenditure must be incurred in China
- Income derived from high- and new-technology products (services) should amount to at least 60% of the enterprise’s total revenue
- The assessment of the enterprise’ innovation capabilities is in line with relevant standards
- The enterprise should have not occurred any major safety or quality incident in the previous year, and should have not had any behaviour against the law
What are the benefits?
- Reduction of the Corporate Income Tax (CIT), from the standard 25% tax rate to 15%, regardless of the company’s investment type and where its headquarters are located;
- Other benefits may also be granted by municipal-level administrations (e.g. the Xi’an municipal government offers compensations to enterprises recognised as HNTEs for the first time, see here).
Once approved, the HNTE status will last for three years, after which the application needs to be re-submitted.
When and where are application calls published?
Applications are opened after an official announcement is published on the web portal of the Shaanxi Provincial Department of Science and Technology, usually between March-June every year. Applications can be submitted in different batches (each with its own call and deadline).
International participation: figures and opportunities
Domestic and foreign-invested enterprises (FIEs) are equally eligible to apply as long as they comply with the requirements listed above. However, it is commonly believed that the eligibility requirements might be more challenging to meet for FIEs. *
Hundreds of enterprises are selected as HNTEs every year. Around 1% in of newly-selected HNTEs in 2018 were foreign-invested enterprises. A few examples include:
- Bosch Rexroth (Xi’an) Electric Drives and Controls Co., Ltd. (German WFOE)
- Vollrath (Xi’an) Electronic Co., Ltd. (American WFOE)
- Wafer (Xi’an) Software Co., Ltd. (Hong Kong WFOE)
- Langfu Locking Measure Technology (Xi’an) Co., Ltd (Sino-French JV)
- Xi’an Driescher Energy Solutions Co., Ltd, (Sino-German JV)
- Parker FACRI Actuation Systems (Xi’an) Co., Ltd. (Sino-American JV)
- North Schlumberger Oilfield Technologies (Xi’an) Co., Ltd (Sino-American JV)
- Cathay Aviation Industries (Xi’an) Co., Ltd
* Note: for instance, The European Union Chamber of Commerce in China in its Position Papers argues that the requirement on core IP may create an uneven playing field between domestic and international companies. This would be because the main technologies of the Chinese affiliates of foreign companies in part may still rely on the main technologies and products initially developed outside China and is still owned there, despite these companies now playing an increasingly important role in the Chinese innovation ecosystem.
Xi’an Municipal level HNTE status:
The Xi’an Municipal Science & Technology Bureau has also established its localised version of the HNTE status. Requirements are easier to meet (e.g. in terms of R&D expenditure as percentage of GDP; revenue of high-tech products; etc.), but benefits are smaller.
Useful links:
2019 application announcement (1st batch)
2018 list of selected HNTEs (1st batch)
2018 list of selected HNTEs (2nd batch)
Management Measures for the Recognition of HNTE status in Xi’an
Shaanxi Provincial SME Innovation Centres
The Shaanxi Provincial SME Innovation Centre is a status granted by the Shaanxi Provincial SME Promotion Bureau to innovative SMEs which establish dedicated R&D and innovation centres – independently or jointly with local vocational colleges and research structures.
Eligibility requirements:
- SME with independent legal personality in Shaanxi province, with annual sales revenue exceeding 20 million RMB
- Strong capacities for innovation;
- Solid R&D teams, with renowned leaders and managers;
- Possession of dedicated facilities, instruments and equipment for innovation;
- Priority granted to SMEs with previous experience in implementing provincial-level projects
What are the benefits?
Shaanxi Provincial SME Innovation Centres will receive priority when applying to local government funding and services.
When and where are calls published?
Calls for applications are submitted every year on the website of the Shaanxi Provincial SME Promotion Bureau, as well as on websites of relevant municipal administrations in Shaanxi province (see this example from Baoji municipality). Applications are submitted to municipal-level administrations through their specific channels. Deadline is usually within 2 weeks after the publication date.
Useful links:
Management Measures for the Recognition of Shaanxi Provincial SME Innovation Centres (in Chinese)
Shaanxi 'specialised, sophisticated, special and new' SME status
The ‘specialised, sophisticated, special and new’ SME is a status (“专精特新”) granted to certain tech SMEs with very high levels of innovation and specialisation in niche markets, and with good prospects for growth and development.
Eligibility requirements:
- SME registered in Shaanxi province for more than 3 years;
- Annual turnover > 20 million RMB, with at least 10% of growth in revenue or profit in the last two years;
- Has been operating in a niche market for more than 3 years, with revenue originating from it exceeding 60% of the SME’s operational revenue;
- R&D expenditure exceeding 5% of the SME’s operational revenue in the last two years;
- At least 15% of the SME’s employees should work in R&D;
- At least 2 invention patents (or alternatively, 10 utility models, designs, etc.);
- Registered brand.
What are the benefits?
‘Specialised, sophisticated, special and new’ SMEs will be granted priority when applying to provincial-level funding programmes, especially technology upgrading ones, as well as when applying to credit or financing services from relevant institutions.
When and where are calls published?
Applications can be submitted after an ad hoc announcement is published on the website of the Shaanxi Provincial Department of Industry and Information Technology. The deadline for submitting applications is usually 4 weeks after the publishing date. Applications will first be reviewed by municipal- and county-level authorities.
Useful links:
Management Measures for the Recognition of Shaanxi ‘specialised, sophosticated, special and new’ SME status (in Chinese)
Shaanxi S&T Innovation Vouchers
Like many other provinces and municipalities in China, the Shaanxi Provincial Department of Science and Technology has launched a support mechanism for micro, small and medium-sized enterprises (MSMEs) – the S&T Innovation Vouchers. S&T Innovation Vouchers consist of small lines of credit – usually 200,000 RMB per year – provided by the municipal administration to tech enterprises to (i) support R&D activities; or to (ii) purchase, at discounted rates, technology or research services provided by certain Dongguan-based service providers. The list of available services is available on the ad hoc platform.
Target:
Tech SMEs with legal personality in Shaanxi province.
When and where are application calls published?
Calls are published on an annual basis on the dedicated platform – usually in the summer.
Useful links:
Xi'an High-tech ”Little Giant” Enterprise
The High-tech “Little Giant” Enterprise (科技小巨人企业) is a programme launched by several municipalities across China to support the growth and development of high-tech micro, small and medium sized enterprises – mainly through subsidies.
Target:
Micro, small and medium-sized enterprises.
Eligibility requirements:
- Enterprise with independent legal personality in Xi’an, and which has obtained HNTE status or tech-based SME status.
- Operating in one of the following fields:
- Optoelectronic chips (integrated circuits)
- Information technologies
- Biotechnologies
- Artificial intelligence
- Intelligent manufacturing
- Aviation and aerospace
- New materials
- New energy
- S&T services
- Possession of indigenous IPR, and strong grasp of key and core technologies in the corresponding field;
- Annual sales revenue in the previous year exceeding 20 million RMB;
- Solid talent teams and incentive schemes, strong IPR management mechanisms.
What are the benefits?
- Subsidies from 400,000 RMB to 1 million RMB (depending on the score obtained by the applicant during the evaluation)
Other subsidies may also be given to specific high-tech “little giant” enterprises with exceptional conditions (see e.g. this link, in Chinese).
When and where are calls published?
Applications can be submitted at any time of the year.
Useful links
Management measures (in Chinese)
Xi'an Subsidies for Enterprises R&D Expenditure
In order to increase R&D activities and capabilities, the Xi’an Municipal Science and Technology Bureau offers a series of subsidies to local enterprises for their R&D expenses in high- and new-technology sectors.
Eligibility requirements:
- Enterprise with independent legal personality in Xi’an, conducting R&D activities in high- and new-technology sectors;
- Has a dedicated bank account for R&D expenditure (in line with SAT regulation 2015 No. 97);
- No negative records.
What are the benefits?
- Annual R&D expenditure < 50 million RMB: subsidy of 2% of actual R&D expenditure (max 800,000 RMB)
- Annual R&D expenditure > 50 million RMB, < 200 million RMB: subsidy of 2% of actual R&D expenditure (max 2 million RMB)
- Annual R&D expenditure > 200 million RMB: 3 million RMB.
Method of application:
Requests for subsidies can be submitted after a relevant annual announcement is published on the website of the Xi’an Municipal S&T Bureau. Applications are submitted online on the dedicated platform and then in paper version to the competent office.
Useful links:
Management measures (in Chinese)
2019 application announcement
Xi'an Technology Transfer subsidies
The Xi’an municipal government offers several subsidies to local entities engaging in technology transfer activities. The purpose is to further stimulate technology transfer deals and contracts within the city.
The following subsidies are granted:
- Technology transferors:
- Enterprises, universities, research institutes or other organisations which have signed technology transfer contracts totalling over 5 million RMB (each deal must have been filed and registered with relevant bodies)
- Technology transferees:
- Enterprises which signed and launched technology transfer projects in high-tech fields from universities and research institutes (exceeding 3 million RMB)
- Technology transfer intermediary firms:
- Technology transfer firms registered in Xi’an which have facilitated the signing of technology transfer contracts amongst local actors.
- Sharing of S&T instruments and devices:
- Universities which shared their S&T instruments, equipment and facilities with relevant local actors, through the Xi’an Equipment Sharing Public Service Platform.
How to apply:
Applications are published on an annual basis on the website of the Xi’an Municipal Science and Technology Bureau, usually in the second half, as part of the applications for “Xi’an Municipal S&T Projects” (西安市科技计划项目). Applications are generally also published on the websites of universities and research institutes based in Xi’an.
Useful links:
2019 call for application
Xi'an Patent Subsidies
The Xi’an municipal government offers several subsidies to local entities applying, obtaining, and/or conducting patent-related activities. They aim to further stimulate resident actors to file high-quality patents and to boost their commercialisation, particularly in strategic emerging industries.
The following subsidies are granted:
- Domestic invention patent application:
- Enterprises not benefitting from other support policies: 3,500 RMB / patent
- Universities, research structures, and enterprises already benefiting from other support policies: 600 RMB / patent
- Domestic patent obtained:
- Enterprises not benefitting from other support policies: 1,500 RMB / invention patent; 600 RMB / utility models or designs
- Universities, research structures, and enterprises already benefiting from other support policies: 1,000 RMB / invention patent; 300 RMB / utility models or designs (plus other subsidies if the total number of patents obtained has increased more than 10% on the previous year)
- Enterprises which have obtained for the first time an invention patent: 2,000 RMB
- International patent obtained:
- Patents obtained in the US, EU, Japan or Korea: 35,000 RMB / country / patent
- Patents obtained in key Belt and Road markets: 50% reimbursement of the patent filing fees
- Patent-related awards obtained:
- National-level patents awards obtained: 20,000 RMB to 100,000 RMB
- Recognition of national “Patent Model Enterprise” status: 300,000 RMB
Other subsidies are also available for agents, intermediaries, as well as for expenses incurred for legal patent enforcement cases.
One applicant can obtain a maximum of 1 million RMB per year of subsidies.
How to apply:
Applications for subsidies can be submitted after an annual announcement is published on the website of the Xi’an Municipal Science and Technology Bureau.
Useful links:
Interim Management Measures for Patent Subsidies in Xi’an (in Chinese)
2018 application announcement
2017 application announcement
Talents (scientists, entrepreneurs) - funding programmes in Shaanxi province
Shaanxi Provincial Thousand Talents Plan (Foreign Experts programme)
The Shaanxi province’s branch of the CPC and the provincial government have established a provincial-level version of the National 1,000 Talents Plan. The Shaanxi Provincial 1,000 Talents Plan offers significant financial support to high-level overseas scientists and experts who decide to relocate within Shaanxi province for conducting research in high-tech industries or in new fields at the frontiers of science, or to participate in the country’s major scientific, engineering and innovative programmes, key laboratories, or in the financial and transportation sectors. Similarly to its national-level counterpart, the Shaanxi 1,000 Talents Plan is divided into different categories, one of which exclusively targeting foreign experts.
It is expected that the programme will end by 2020.
Eligibility requirements (foreign expert programme):
- Foreign nationals (including non-ethnic Chinese)
- Under 68 years’ old
- Committed to remain in Shaanxi province for at least 3 years
- Full professorship or an equivalent title in a prestigious foreign university, research institute, medical institute; or senior technology or management position in a renowned international enterprise or financial institution
- Publication in the last 5 years of high-quality papers, and recognition of national/int’l awards
- Possess scientific results that have the potential of boosting the indigenous innovation and product/technology upgrading of enterprises
Benefits:
The awardees will be conferred the title of ‘Shaanxi Distinguished Expert’, and will be mainly granted substantial benefits and financial and administrative assistance in terms of working and living conditions, for instance: 1 million RMB as a reward; living allowance; 300,000 to 1,000,000 RMB of research grants; support with entry-exit immigration, schooling for children, visa for spouse, medical insurance, etc.; priority when applying to national and local-level R&D programmes and megaprojects, etc.
How to apply:
New calls for application are published on an annual basis – usually in two batches in the first and second half of the year – on websites of relevant Shaanxi-based universities and research institutes (see e.g. link below).
The application and selection procedure is similar to that of the national-level 1,000 Talents Plan. Applications must be submitted by the host recruiting institution on behalf of the recruited talents. A prior employment agreement between the talent and the host recruiting institution is required. Interested candidates will need to contact the potential recruiting institution within the deadline.
Useful links:
Latest call for application in 2018 (second batch, in Chinese), published on the website of the Shaanxi University of Technology
Industry-University-Research cooperation - funding programmes in Shaanxi province
Shaanxi Provincial Key R&D Programmes
On the basis of National Key R&D Programmes, the Shaanxi Provincial Department of Science and Technology has launched a series of Provincial-level Key R&D Programmes, supporting R&D in key priority fields. Every year, hundreds of projects are funded under three main areas:
- Key Industrial Innovation Chain projects: in industrial fields (aviation and aerospace equipment; drones; Beidou applications; semiconductors; intelligent software; etc.), agricultural fields (increased productivity of key crops, fruits; processing technologies; ecological agriculture; etc.) and societal challenges (non-communicable diseases; innovative drugs; biopharma; smart medical devices; etc). 159 projects were supported under 2020 annual calls. Funding generally ranges from 600,000 RMB to 1 million RMB per project (3 years).
- General projects: in areas similar to Key Industrial Innovation Chain projects, but projects are smaller (generally from 50,000 RMB to 200,000 RMB for projects lasting 2 years). 245 projects were supported under 2020 annual calls.
- International S&T cooperation projects (individual factsheet below).
Target:
Enterprises; universities; research institutes.
Eligibility requirements:
- Enterprises, universities, research institutes, research structures or industrial associations legally established within Shaanxi province, with strong conditions and capacities for R&D;
- The project for which the application is submitted must be in line with the priority topics and subjects specified in annual calls;
- Each topic under ‘Key Industrial Innovation Chain projects’ has its own requirements (generally requiring industry-university-research cooperation, project activities to be launched within certain institutions, engineering centres, etc.);
- Private enterprises are encouraged to apply;
- Strong entities and teams based outside Shaanxi, in Hong Kong and Macao SARs or Taiwan, are encouraged to apply;
- The proposed Team Leader should be a renowned expert in the corresponding field.
When and where are calls published?
Applications are published on an annual basis (usually between May and July) on the website of the Shaanxi Provincial Department of Science and Technology – together with calls for Shaanxi Natural Science Basic Research projects (see corresponding factsheet). Applications must be submitted online (on a dedicated project management platform) and in hard copy versions, with deadline using within 6 weeks after the publication date. Endorsement from certain bodies is required.
Useful links:
2020 call for application
Research institutes/universities - funding programmes in Shaanxi province
Shaanxi Provincial Natural Science Basic Research Programmes
Similar to other provinces and municipalities across China, and in line with the National Natural Science Fund, the Shaanxi Provincial Department of Science and Technology has launched a series of Provincial Natural Science Basic Research Programmes, support basic and applied research in natural sciences. These are further divided into different categories of projects:
- General projects: supporting exploratory basic and applied research on topics chosen freely by applicants (funding: 30,000 RMB to 50,000 RMB per project; duration: max 2 years).
- Key projects: supporting basic and applied research in areas in line with provincial development priorities and needs (funding: 100,000 RMB per project, usually 50 projects are funded every year; duration: max 3 years).
- Distinguished young scientist projects: supporting young scientists who have already achieved excellent scientific achievements, to continue conducting exploratory research on topics chosen freely (funding: 300,000 RMB per project, usually 30 projects are funded every year; duration: max 3 years).
Eligibility requirements:
The applicant should be affiliated with a Shaanxi-based university or research institute, and at the same time should meet the following requirements depending on the category of projects:
- General projects: previous experience in implementing basic research projects. Mid/senior-level job title or Ph.D. degree (alternatively, recommendation letters from at least two senior experts in the field). Less than 58 years’ old.
- Key projects: has already received funding under Shaanxi Provincial Natural Science Basic Research programmes. The project should be launched within provincial-level (or above) key laboratories. Less than 57 years’ old.
- Distinguished young scientist projects: Previous experience in implementing at least 2 national- or provincial-level basic research projects (one of which from the National Natural Science Fund). Mid/senior-level job title or Ph.D. degree. Less than 42 years’ old.
When and where are calls published?
Applications are published on an annual basis (usually between May and July) on the website of the Shaanxi Provincial Department of Science and Technology – together with calls for Shaanxi Provincial Key R&D Programmes (see corresponding factsheet). Applications are submitted online by the PI on a dedicated platform, and then are reviewed by the PI’s host institution. The deadline for submitting applications is usually within 6 weeks after the publishing date (note: earlier deadlines might be required by specific host institutions).
International participation: opportunities and figures
Foreign PIs employed by Shaanxi-based institutions are equally eligible to apply, provided that they meet the eligibility requirements indicated above.
Useful links:
2020 call for application
2019 list of results for Distinguished Young Scientist projects
Xi'an Engineering Technology Research Centre
Like the National Engineering Technology Research Centres under the national-level Bases and Talents Programme, the Xi’an Municipal Engineering Technology Research Centre is a status given to certain entities in Xi’an with strong conditions and capacities for innovation, dedicated to market- and industry-oriented engineering R&D, verification, application and integration of core technologies in key areas.
Target:
Enterprises; universities; research structures.
Eligibility requirements:
Applicants must be enterprises, universities or research structures registered and with independent legal personality in Xi’an municipality. They must have rich experience and strong capacities for innovation and in implementing engineering-scale development. In addition:
- Scale: If the applicant is an enterprise, the annual operational revenue in the previous year must have exceeded 50 million RMB. R&D expenditure must exceed 6% of annual sales revenue;
- Talents and team: at least 20 full-time R&D employees, 30% of which should have Master degree or mid/senior-level job title;
- Assets: Good conditions for innovation, with the total asset value of relevant instruments, equipment, devices and facilities exceeding 5 million RMB, and a R&D facility of at least 300 m2;
- R&D activities: in the last three years has launched at least 2 R&D projects in cooperation with or on behalf of upstream or downstream enterprises. If the applicant is a university or research structure, in the last three years must have launched at least 6 industry-university-research cooperation projects;
- Scientific results: in the last three years has obtained at least 2 patents (or filed 3).
What are the benefits?
- A subsidy of 1 million RMB will be granted immediately upon recognition. Other subsidies (300,000 RMB to 500,000 RMB) will be granted following performance evaluations.
In addition, Xi’an Municipal Engineering Technology Research Centres will receive strong support from local authorities when applying to other municipal- or provincial-level funding programmes.
When and where are calls published?
Applications are published on an annual basis on the website of the Xi’an Municipal Science and Technology Bureau, usually in the second half, as part of the applications for “Xi’an Municipal S&T Projects” (西安市科技计划项目). Applications are generally also published on the websites of universities and research institutes based in Xi’an. Endorsement from local authorities is generally required.
Useful links:
Management Measures for the Recognition of Xi’an Engineering Technology Research Centres
2019 call for application
Xi'an Technology Transfer subsidies
The Xi’an municipal government offers several subsidies to local entities engaging in technology transfer activities. The purpose is to further stimulate technology transfer deals and contracts within the city.
The following subsidies are granted:
- Technology transferors:
- Enterprises, universities, research institutes or other organisations which have signed technology transfer contracts totalling over 5 million RMB (each deal must have been filed and registered with relevant bodies)
- Technology transferees:
- Enterprises which signed and launched technology transfer projects in high-tech fields from universities and research institutes (exceeding 3 million RMB)
- Technology transfer intermediary firms:
- Technology transfer firms registered in Xi’an which have facilitated the signing of technology transfer contracts amongst local actors.
- Sharing of S&T instruments and devices:
- Universities which shared their S&T instruments, equipment and facilities with relevant local actors, through the Xi’an Equipment Sharing Public Service Platform.
How to apply:
Applications are published on an annual basis on the website of the Xi’an Municipal Science and Technology Bureau, usually in the second half, as part of the applications for “Xi’an Municipal S&T Projects” (西安市科技计划项目). Applications are generally also published on the websites of universities and research institutes based in Xi’an.
Useful links:
2019 call for application
Xi'an Patent Subsidies
The Xi’an municipal government offers several subsidies to local entities applying, obtaining, and/or conducting patent-related activities. They aim to further stimulate resident actors to file high-quality patents and to boost their commercialisation, particularly in strategic emerging industries.
The following subsidies are granted:
- Domestic invention patent application:
- Enterprises not benefitting from other support policies: 3,500 RMB / patent
- Universities, research structures, and enterprises already benefiting from other support policies: 600 RMB / patent
- Domestic patent obtained:
- Enterprises not benefitting from other support policies: 1,500 RMB / invention patent; 600 RMB / utility models or designs
- Universities, research structures, and enterprises already benefiting from other support policies: 1,000 RMB / invention patent; 300 RMB / utility models or designs (plus other subsidies if the total number of patents obtained has increased more than 10% on the previous year)
- Enterprises which have obtained for the first time an invention patent: 2,000 RMB
- International patent obtained:
- Patents obtained in the US, EU, Japan or Korea: 35,000 RMB / country / patent
- Patents obtained in key Belt and Road markets: 50% reimbursement of the patent filing fees
- Patent-related awards obtained:
- National-level patents awards obtained: 20,000 RMB to 100,000 RMB
- Recognition of national “Patent Model Enterprise” status: 300,000 RMB
Other subsidies are also available for agents, intermediaries, as well as for expenses incurred for legal patent enforcement cases.
One applicant can obtain a maximum of 1 million RMB per year of subsidies.
How to apply:
Applications for subsidies can be submitted after an annual announcement is published on the website of the Xi’an Municipal Science and Technology Bureau.
Useful links:
Interim Management Measures for Patent Subsidies in Xi’an (in Chinese)
2018 application announcement
2017 application announcement
International cooperation - funding programmes in Shaanxi province
In addition to the above programmes which target Shaanxi-based actors, the Shaanxi provincial administration has also established one ad hoc programme targeting international science and technology cooperation with foreign partners from certain countries and regions. Shaanxi-based affiliates of foreign-invested enterprises cannot apply as foreign partners (but can apply as Chinese partners).
Shaanxi Provincial Key R&D Programmes - International Cooperation projects
One category of Shaanxi Provincial Key R&D Programmes (see corresponding factsheet above) is dedicated to international cooperation projects. These are further divided in:
- Key projects: in particular between Shaanxi-based international cooperation bases and strong foreign entities and teams. Such projects will need to contribute to talent growth, technology exports, and technology absorption. Priority will be granted to key projects addressing key major bottlenecks, to projects which have already received support from the central government, and to projects with partners from Belt and Road countries. Funding: 500,000 RMB per project (duration: 3 years).
- General projects: particularly supporting R&D and technology transfer in key emerging and strategic areas, particularly focusing on enterprises. Key outputs generally include: new products developed, new international standards formulated, new international patents obtained, etc. Projects with Belt and Road countries as well as partners from Hong Kong and Macao SARs are encouraged. Funding: 50,000 RMB to 100,000 RMB per project (duration: 2 years).
Priority fields:
Advanced manufacturing, artificial intelligence, energy and chemicals, information technologies, aviation and aerospace, new materials, modern agriculture, biopharma, environment-friendly and energy-saving technologies, high-tech services, S&T talents exchanges.
Eligibility requirements:
- Entity with independent legal personality in Shaanxi province, and which has been operating for more than 1 year;
- Clear project deliverables and KPIs;
- The Chinese and foreign partner should already have solid basis for cooperation;
- The proposed Team Leader should be a renowned expert in the corresponding field.
When and where are calls published?
Applications are published on an annual basis (usually between May and July) on the website of the Shaanxi Provincial Department of Science and Technology – as part of the calls for Shaanxi Provincial Key R&D Programmes (see dedicated factsheet above). Applications must be submitted by the Chinese partner.
Useful links:
2020 call for application